Our Staff has compiled our research into a database of FINRA Broker Disclosures for Founders Financial Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Matthew Archer | 2776670 | 1 | 10/13/2011 | Customer Dispute | Settled | $123,187.00 | $0.00 | See FINRA Report |
| Bradley Matthew Shepherd | 2303045 | 1 | 09/29/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter James Potestato | 2195974 | 2 | 08/23/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffery Ralph Gosen | 1889470 | 3 | 07/27/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Manuel Medeiros Goulart | 2751714 | 3 | 02/05/2010 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Jeffery Ralph Gosen | 1889470 | 3 | 08/31/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Luis E Padilla | 4628614 | 1 | 06/27/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy James Lay | 4328783 | 1 | 09/21/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy James Warnock | 4286210 | 1 | 06/05/2007 | Customer Dispute | Settled | $26,971.90 | $0.00 | See FINRA Report |
| Manuel Medeiros Goulart | 2751714 | 3 | 03/27/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |